SEC statutes and rules
- Securities Act of 1933 – 17 CFR, part 230 (Index) ;PDF
- Securities Act of 1934 – 17 CFR, part 240 (Index) ;PDF
- Trust Indenture Act of 1939 – 17 CFR, part 260 (Index) ;PDF
- Investment Company Act of 1940 – 17 CFR, part 270 (Index) ;PDF
- Investment Advisers Act of 1940 – 17 CFR, part 275 ;PDF
- Securities Investor Protection Act of 1970 – 17 CFR, part 300 (Index) ;PDF
- SEC Spotlight On: Public Company Accounting Reform and Corporate Responsibility Act of 2002 (Sarbanes-Oxley Act of 2002)
- SEC Spotlight On: Dodd-Frank Wall Street Reform and Consumer Protection Act (Dodd-Frank Act of 2010)
- SEC Spotlight On: Jumpstart Our Business Startups Act (JOBS Act of 2012)
You can find other frequently requested material in the CFR at:
- 17 CFR, part 200 – General SEC Rules (includes organization of SEC, codes of conduct and ethics; information requests)
- 17 CFR, part 201 – SEC Rules of Practice
- 17 CFR, part 202 – Informal Procedures
- 17 CFR, part 203- Investigations
- Reference
- Corporate Finance Reference
SEC regulations
- Regulation A – Conditional Small Issues Exemption from Registration Under the Securities Act of 1933.
- Regulation C – Registration
- General Requirements
- Form and Content of Prospectuses
- Written Consents
- Filings; Fees; Effective Date
- Amendments; Withdrawals
- Investment Companies; Business Development Companies
- Registration by Foreign Governments or Political Subdivisions Thereof
- Regulation CE – Coordinated Exemptions for Certain Issues of Securities Exempt Under State Law.
- Regulation D – Rules Governing the Limited Offer and Sale of Securities without Registration Under the Securities Act of 1933.
- Regulation FD
- Regulation M-A – Mergers and Acquisitions
- Regulation M-A – Q&A
- Regulation S-K
- 229.601 – (Item 601 Exhibits)
- Q&A
- Regulation S-T
- Graphic and Image Material Regulation
- Regulation S-X
SEC guidance and FAQs
Interactive data
Corporation finance guidance
- CF Guidance: Form D Filing Process
- CF Guidance: Filing Date Adjustments, PACs, Deletions, Withdrawals, Hardship Exemptions
- Form ID and Other EDGAR Forms
- Form D
- Electronic Form ID FAQs
- Section 16 Electronic Reporting FAQs
- General Guidance
Investment management guidance
- Small Entity Compliance Guide: Mandatory Electronic Submission of Applications for Orders under the Investment Company Act and Filings Made Pursuant to Regulation E
- Series and Class (Contract) Notice and FAQs
- Co-Reg Filings with S/C IDs
- IM EDGAR Post-Acceptance Corrections
- FAQ: EDGAR Filing of Certified Shareholder Reporters by Registered Management Investment Companies
- Investment Management
- Small Businesses
SEC regulatory development
- Final Rules
- Interim Final Temporary Rules
- Proposed Rules
- Press Releases
- Speeches and Public Statements